Former Seattle, Washington financial advisor William Sandeman (CRD# 831384) was recently sanctioned and barred in connection with alleged rule violations....
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Mike Thompson: UBS Advisor Receives $1mm Suitability Complaint
Irvine, California financial advisor Mike Thompson (CRD# 1111881) recently received an investor complaint alleging his conduct resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with UBS Financial Services, whose website shows that he is part of The Thompson Katzaroff Kottmeier Group.
Kerry Hoffman: B. Riley Advisor Faces $200K Complaint
Recent investor complaints against Boca Raton financial advisor Kerry Hoffman (CRD# 2224354) allege that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with B. Riley Investments, having previously been registered with National Securities Corporation and Morgan Stanley
Ameriprise Advisor Brandon Horton Faces $400K Complaint
Birmingham financial advisor Brandon Horton (CRD# 4569003) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Ameriprise Financial Services.
Shaun Grimaldi: E1 Advisor Faces $4 Million Complaint
Jersey City financial advisor Shaun Grimaldi (CRD# 4529021) recently received an investor complaint alleging that he mismanaged funds in a customer’s account. Financial Industry Regulatory Authority records show that he is a broker with E1 Asset Management.
Maury Lomax: $1mm Complaint Against Morgan Stanley Advisor
A recent investor complaint against Mobile, Alabama financial advisor Maury Lomax (CRD# 4389255) alleges that his conduct resulted in million-dollar damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Morgan Stanley, having previously been registered with Citigroup Global Markets.
Paulson Wealth Advisor Nathan Paulson: $5 Million Trading Complaint
Former APW Capital financial advisor Nathan Paulson (CRD# 4799867) recently received an investor complaint alleging seven-figure damages. Records provided by the Financial Industry Regulatory Authority and the Securities and Exchange Commission show that he is currently an investment advisor with Paulson Wealth Management in Wheaton, Illinois.
Matt Barr: $100K Complaint Against Merrill Lynch Advisor
Columbia, Maryland financial advisor Matt Barr (CRD# 5224488) allegedly made unauthorized trades, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Merrill Lynch, having previously been registered with NYLife Securities.
Ted Oakley: SEC Investigating Herdon Plant Oakley Advisor
Corpus Christi financial advisor Ted Oakley (CRD# 813008) is under investigation by the Securities and Exchange Commission in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the Herndon Plant Oakley broker is also registered as an investment advisor with Oxbow Advisors.
Timothy McVey: Centaurus Advisor’s Client Listed as GWG Creditor
At least one current or former customer of Centaurus Financial advisor Timothy McVey (CRD# 1535662) is listed as a creditor for a GWG L bond investment, according to public records. These records, filed with a US bankruptcy court, disclosed an investment of $86,000. Financial Industry Regulatory Authority records show that he is a broker… Read More »
Ryan Wieser: Moloney Advisor’s Client Invested in GWG L Bonds
At least one current or former customer of Moloney Securities advisor Ryan Wieser (CRD# 4940639) is listed as a creditor for investments in GWG L bonds, according to public records. Filed with a US bankruptcy court, these records disclose investments totaling $100,000. Financial Industry Regulatory Authority records show that he is a broker and… Read More »
